Trading in Substitute Securities: Liability Under Rule 10b-5
Download PDF Cody Donald I. Introduction A trade in a substitute security occurs when a trader with inside information, typically […]
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Stuck with Steckman: Why Item 303 Cannot be a Surrogate for Section 11
Download PDF Aaron Jedidiah Benjamin† Item 303 of SEC Regulation S-K requires companies to disclose “known trends and uncertainties” in
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Age Before Equity? Federal Regulatory Agency Disgorgement Actions and the Statute of Limitations
Download PDF Michael Columbo and Allison Davis I. Introduction At what point may a person rest assured that the government
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A Federal Fiduciary Standard Under the Investment Advisers Act of 1940: A Refinement for the Protection of Private Funds
Download PDF Tyler Kirk† Introductory Note The appropriate role of the fiduciary standard in the financial industry has garnered a
Derivatives Regulation, Featured, Financial Regulation, Home, Securities, U.S. Business Law, Volume 7
Bitcoin and Virtual Currencies: Welcome to Your Regulator
Download PDF Matthew Kluchenek† I. Introduction Among all the U.S. regulators interested in regulating Bitcoin and virtual currencies, the Commodity Futures
Featured, Financial Regulation, Home, Securities, U.S. Business Law, Volume 6
It Ain’t Broke: The Case For Continued SEC Regulation of P2P Lending
Download PDF Benjamin Lo† Introductory Note In 2008, the Securities and Exchange Commission made waves by deciding to regulate the
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